Amended Statement of Changes in Beneficial Ownership (4/a)

Date : 04/11/2019 @ 10:06PM
Source : Edgar (US Regulatory)
Stock : Halcon Resources Corporation New (HK)
Quote : 0.159552  0.0 (0.00%) @ 1:00AM

Amended Statement of Changes in Beneficial Ownership (4/a)

FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
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OMB Number: 3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

ARES MANAGEMENT LLC
2. Issuer Name and Ticker or Trading Symbol

HALCON RESOURCES CORP [ HK ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                      __ X __ 10% Owner
_____ Officer (give title below)      _____ Other (specify below)
(Last)          (First)          (Middle)

2000 AVENUE OF THE STARS, 12TH FLOOR
3. Date of Earliest Transaction (MM/DD/YYYY)

2/9/2018
(Street)

LOS ANGELES, CA 90067
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

2/13/2018 
6. Individual or Joint/Group Filing (Check Applicable Line)

___ Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, $0.0001 par value   2/9/2018     P    1113466   (1) (2) A $6.9   21855288   (3) (4) (5) I   See footnotes   (6) (7) (8) (9)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares

Explanation of Responses:
(1)  The amount reported reflects an aggregate of 1,113,466 shares of the Issuer's Common Stock, $0.0001 par value ("Common Stock") purchased on February 9, 2018 in an underwritten public offering of the Issuer's Common Stock by the following entities in the following amounts: 330,525 shares by AF IV Energy II AIV B1, L.P., 52,461 shares by AF IV Energy II AIV A1, L.P., 78,684 shares by AF IV Energy II AIV A2, L.P., 33,220 shares by AF IV Energy II AIV A3, L.P., 33,970 shares by AF IV Energy II AIV A4, L.P., 43,537 shares by AF IV Energy II AIV A5, L.P., 34,096 shares by AF IV Energy II AIV A6, L.P., 17,488 shares by AF IV Energy II AIV A7, L.P., 33,924 shares by AF IV Energy II AIV A8, L.P., 35,166 shares by AF IV Energy II AIV A9, L.P., (continued in footnote 2)
(2)  52,461 shares by AF IV Energy II AIV A10, L.P., 19,670 shares by AF IV Energy II AIV A11, L.P., 34,967 shares by AF IV Energy II AIV A12, L.P., 111,051 shares by SSF IV Halcon AIV B1, L.P., 5,167 shares by SSF IV Halcon AIV 1, L.P., 38,082 shares by SSF IV Halcon AIV 2, L.P., 41,359 shares by SSF IV Halcon AIV 3, L.P., 10,342 shares by SSF IV Halcon AIV 4, L.P., 22,812 shares by SSF IV Halcon AIV 5, L.P., 38,371 shares by SSF IV Halcon AIV 6, L.P., and 46,113 shares by SSF IV Halcon AIV 7, L.P.
(3)  The amount reported reflects an aggregate of 21,855,288 shares of Common Stock held on February 9, 2018 by the following entities in the following amounts: 5,648,690 shares by AF IV Energy II AIV B1, L.P., 896,567 shares by AF IV Energy II AIV A1, L.P., 1,344,714 shares by AF IV Energy II AIV A2, L.P., 567,737 shares by AF IV Energy II AIV A3, L.P., 580,546 shares by AF IV Energy II AIV A4, L.P., 744,057 shares by AF IV Energy II AIV A5, L.P., 582,698 shares by AF IV Energy II AIV A6, L.P., 298,870 shares by AF IV Energy II AIV A7, L.P., 579,768 shares by AF IV Energy II AIV A8, L.P., 600,983 shares by AF IV Energy II AIV A9, L.P., 896,567 shares by AF IV Energy II AIV A10, L.P., 336,156 shares by AF IV Energy II AIV A11, L.P., 597,583 shares by AF IV Energy II AIV A12, L.P., 257,070 shares by SSF III Halcon AIV B1, L.P., 1,101,652 shares by SSF III Halcon AIV 1, L.P., 165,271 shares by SSF III Halcon AIV 2, L.P., (continued in footnote 4)
(4)  315,830 shares by SSF III Halcon AIV 3, L.P., 1,897,859 shares by SSF IV Halcon AIV B1, L.P., 88,306 shares by SSF IV Halcon AIV 1, L.P., 650,824 shares by SSF IV Halcon AIV 2, L.P., 706,823 shares by SSF IV Halcon AIV 3, L.P., 176,753 shares by SSF IV Halcon AIV 4, L.P., 389,862 shares by SSF IV Halcon AIV 5, L.P., 655,756 shares by SSF IV Halcon AIV 6, L.P., 788,066 shares by SSF IV Halcon AIV 7, L.P., 292,519 shares by Ares Dynamic Credit Allocation Fund, Inc., 229,342 shares by Ares Enhanced Credit Opportunities Master Fund II, Ltd., 224,654 shares by Future Fund Board of Guardians, 95,790 shares by ASIP (Holdco) IV S.a.r.l., 42,051 shares by Ares Multi-Strategy Credit Fund V (H), L.P., 67,228 shares by Transatlantic Reinsurance Company and 34,696 shares by RSUI Indemnity Company.
(5)  The original Form 4, filed with the Securities and Exchange Commission on February 13, 2018, unintentionally omitted 4 shares of Common Stock owned by Ares Enhanced Credit Opportunities Master Fund II, Ltd. This amended Form 4 (this "Amendment") is being filed to correct the omission.
(6)  The Issuer's Common Stock held by the entities listed in footnotes 1-4 (collectively, the "Purchasers") is managed, directly or indirectly, by Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"). The sole stockholder of Ares Holdings is Ares Management Corporation ("Ares Management"). Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Class C Common Stock"). (continued in footnote 7)
(7)  Pursuant to Ares Management's Certificate of Incorporation in effect as of the date of this Amendment, the holders of the Class B Common Stock and the Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. (continued in footnote 8)
(8)  The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners," and together with the Purchasers, Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, Ares Management GP and Ares Voting, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Michael R. McFerran, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). (continued in footnote 9)
(9)  Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Ares Entities (other than the Purchasers and Ares Management LLC with respect to the securities held directly by them) and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is c/o Ares Management LLC, 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
ARES MANAGEMENT LLC
2000 AVENUE OF THE STARS
12TH FLOOR
LOS ANGELES, CA 90067
X X

Ares Management Holdings L.P.
2000 AVENUE OF THE STARS
12TH FLOOR
LOS ANGELES, CA 90067
X X

Ares Holdco LLC
2000 AVENUE OF THE STARS
12TH FLOOR
LOS ANGELES, CA 90067
X X

Ares Holdings Inc.
2000 AVENUE OF THE STARS
12TH FLOOR
LOS ANGELES, CA 90067
X X

Ares Management Corp
2000 AVENUE OF THE STARS
12TH FLOOR
LOS ANGELES, CA 90067
X X

Ares Management GP LLC
2000 AVENUE OF THE STARS
12TH FLOOR
LOS ANGELES, CA 90067
X X

Ares Voting LLC
2000 AVENUE OF THE STARS
12TH FLOOR
LOS ANGELES, CA 90067
X X

Ares Partners Holdco LLC
2000 AVENUE OF THE STARS
12TH FLOOR
LOS ANGELES, CA 90067
X X


Signatures
ARES MANAGEMENT LLC By: Naseem Sagati Aghili Its: Authorized Signatory 4/11/2019
** Signature of Reporting Person Date

ARES MANAGEMENT HOLDINGS L.P. By: ARES HOLDCO LLC Its: General Partner By: Naseem Sagati Aghili Its: Authorized Signatory 4/11/2019
** Signature of Reporting Person Date

ARES HOLDCO LLC By: Naseem Sagati Aghili Its: Authorized Signatory 4/11/2019
** Signature of Reporting Person Date

ARES HOLDINGS INC. By: Naseem Sagati Aghili Its: Authorized Signatory 4/11/2019
** Signature of Reporting Person Date

ARES MANAGEMENT CORPORATION By: Naseem Sagati Aghili Its: Authorized Signatory 4/11/2019
** Signature of Reporting Person Date

ARES VOTING LLC By: ARES PARTNERS HOLDCO LLC Its: Sole Member By: Naseem Sagati Aghili Its: Authorized Signatory 4/11/2019
** Signature of Reporting Person Date

ARES MANAGEMENT GP LLC By: Naseem Sagati Aghili Its: Authorized Signatory 4/11/2019
** Signature of Reporting Person Date

ARES PARTNERS HOLDCO LLC By: Naseem Sagati Aghili Its: Authorized Signatory 4/11/2019
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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